Sales and Resales of Restricted Securities |
From inside the book
Results 1-3 of 79
Page 96
... adopted , there was no reporting requirement under rule 146 , but such a requirement was later adopted in Sec . Act Rel . No. 5912 ( March 3 , 1978 ) . Based upon its experience with that rule , the Commission stated that the reporting ...
... adopted , there was no reporting requirement under rule 146 , but such a requirement was later adopted in Sec . Act Rel . No. 5912 ( March 3 , 1978 ) . Based upon its experience with that rule , the Commission stated that the reporting ...
Page 128
... [ Adopted in Release No. 33-3663 , July 23 , 1956 , 21 F. R. 5739 ; and amended by Release No. 33-4149 , November 19 , 1959 , 24 F. R. 8627 ; amended in Re- lease No. 33-5977 ( ¶ 81,710 ) , September 11 , 1978 , 43 F. R. — . ] [ ¶ 2366 ] ...
... [ Adopted in Release No. 33-3663 , July 23 , 1956 , 21 F. R. 5739 ; and amended by Release No. 33-4149 , November 19 , 1959 , 24 F. R. 8627 ; amended in Re- lease No. 33-5977 ( ¶ 81,710 ) , September 11 , 1978 , 43 F. R. — . ] [ ¶ 2366 ] ...
Page 145
... adopted Form S - 18 under the Securities Act to allow certain cor- porations which are not subject to the Commission's continuous reporting requirements to make a public offering of up to $ 5 million on a simplified registration ...
... adopted Form S - 18 under the Securities Act to allow certain cor- porations which are not subject to the Commission's continuous reporting requirements to make a public offering of up to $ 5 million on a simplified registration ...
Common terms and phrases
adopted affiliate aggregate amended amount of securities apply block positioner broker call options Commission's comply controlling person convertible securities Corporation court dealer debtor deemed disclosure effective fact filed Form 8-K held holders institutional investor interpretations intrastate investment involved issuer Item market maker ment NASDAQ no-action letters non-affiliate notification offeree representative offering exemption option outstanding paragraph permit placed debt securities position preliminary offering circular prior private offering private placement privately placed debt proposed public offering purchase pursuant Question Ralston Purina registration statement Regulation reliance requirements of Rule resale of privately resale of restricted resale of securities resell resold respect restricted securities Rule 144 transaction sales of securities secondary market Section 13 Section 4(1 securities acquired Securities Act Release securities issued seller September 19 small businesses solicitation specified staff statutory term tion underwriter view to distribution volume limitation